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Capwest Securities, Inc. Work Values
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Daily Duties at Capwest Securities, Inc.:
Overall Management of corporate operations and sales reps (approx 16 and 90 persons respectively) and interface with Financial Industry Regulatory Authority (FINRA), the firm's regulatory authority. Oversight of financial reporting, including regulatory quarterly FOCUS reports, net capital calculations, and annual PCAOB audits. Monitored sales and commissions processing, oversaw accounting functions including payroll, payroll taxes, accounts payable and financial reporting to regulatory authority (FINRA). Monitored all third party service/supply contracts including clearing firm's processing of equity, mutual fund, and bond sales transactions, as well as processing charges to the firm for those transactions. Worked closely with Compliance department responding to any regulatory inqirires, audits, and implementation and compliance with regulatory sales and advertising practices. Designed due diligence review process for the firm to analyze and approve or disapprove investment products sales force was allowed to sell.
What they like about Capwest Securities, Inc.:
You highly value a work environment built on a formal structure, rules, and regulations. You do not enjoy the unpredictability of shifting priorities and deadlines that upset your routine. You require and enjoy direction, input and accountability as part of your work environment. You have a strong need to participate in making key decisions and feel left out if your superiors or co-workers do not seek your input when making decisions. You thrive on providing good customer service to both internal or external customers, and doing so makes you feel good.
Tags
Operations Management, Business Analysis, Strategic Planning, Budgeting, Expense Control, Accounting, Arbitration Mangement, Problem Solving, Financial Analysis, Executive Management, FINRA SERIES 7, FINRA SERIES 24, FINRA SERIES 27, CPA Illinois, Government Contracting (DOD), Executive Managment FINRA IBD, MBA, Executive Offices Property Mnagement
Information about Capwest Securities, Inc.
Company Rank: 4.0 out of 5
Average length of employment : 3 years
Average salary of employees: $125,000
These are some of the questions we asked our climbers about their experiences with Capwest Securities, Inc.:
| 05| | ||
| Were your performance expectations clearly communicated? | 3.0 |
|
| Were you recognized for meeting or exceeding expectations? | 4.0 |
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| Did you feel like your personal contribution was important? | 5.0 |
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| Was your career path clearly outlined and discussed? | 2.0 |
| 03| | ||
| I would recommend this as a place of employment. | 2.0 | |
| I believe in the purpose of this organization. | 3.0 | |
| I would work for this organization again. | 3.0 | |
| I feel employees are fairly compensated. | 3.0 |
Climbers who worked at Capwest Securities, Inc. had these interests:
| Books | |
|---|---|
Battle Cry of Freedom |
Military History (Civil War) |
| Magazines | |
| The Economist |
Weekly International news and business periodical. Current affairs, business, finance, science, media & arts |
| Bloomberg Business Week |
Business magazine, business, stock market and financial news. |
| Websites | |
| wall street journal |
Newspaper, business & other articles |
| finra.org |
Contains pertinent information pertaining to Financial Industry Regulatory Authority's issues, events and rules |
